The Securities and Exchange Commission’s (“SEC”) Strategic Hub for Innovation and Financial Technology (“FinHub”) hosted an important public forum on Friday, May 31, 2019 at the SEC headquarters in Washington, D.C. ...more
6/21/2019
/ Capital Formation ,
Digital Assets ,
Distributed Ledger Technology (DLT) ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Innovation ,
Innovative Technology ,
Investment Management ,
Public Forum ,
Regulatory Agenda ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
On January 22, 2019 FINRA, the self-regulatory organization for U.S. broker-dealers, released its “Risk Monitoring and Examination Priorities Letter” for 2019. A number of of FINRA’s hot topics for 2019 should be of interest...more
2/11/2019
/ Bitcoin ,
Broker-Dealer ,
Digital Assets ,
Digital Currency ,
FinTech ,
Initial Coin Offering (ICOs) ,
Investment Opportunities ,
Market Manipulation ,
Regulatory Oversight ,
Regulatory Standards ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Token Sales